ER

IN
H

12
Likelihood 4
Impact 3

IS
IN R
C IS
R K
EA D
SI EC
N R
G E
O AS
R IN
ST G
AT ,
R
ES
IC
?
ID
U
A
L
R
IS
K
FA
C
TO
R
R
IS
K
O
W
N
ER

R
IS
K
EN
T

IP
TI
O
N
R
D
ES
C

Example: Personal
Registrants fail to establish appropriate boundaries with
Behaviour - Registrants services users, i.e. do not explain professional relationship to
violate boundaries
service users and violate boundaries, i.e. emotional, sexual,
etc. Registrants abuse their position of power.

ID
C E
& ON NT
TR IFY
EF
M F
O E
IT EC
LS X
IS
IG T
TI
AT IV
N
IO EN
G
N E
SS
O
F

TO
R
FA
C

IS
K
R
O
F

R
IS
K
E
LI
N
H
EA
D

1a

Existing Controls: Adherence to Ethical Framework and Code of

Practice. Mandatory CPD and supervision audited by Professional
Standards Authority at annual renewal of registration. Training
provided by organisation. Leaflets and other information material
available to registrants. Professional Conduct Procedure in place.
Case facts and sanctions published on website to promote learning
amongst registrants.
Effectiveness of Mitigation: annual review of conduct cases
suggests reduction of complaints against registrants in relation to
boundary violations.

Decreasing

6
L (2)
I (3)

X (organisation
holding register)

20
L (4)
I (5)

Existing control: Education and training equips registrant with skills

to practice. Mandatory CPD requirements assist registrants to keep
their skills up to date. Mandatory supervision identifies potential skill
gaps and recommends appropriate training. Registrants sign up to
Code of Practice/Ethical Framework that require them to practise
within their competence and refer service users to other
professionals if required. Organisation provides guidance on
underlying health/social issues, for example, offers a
protocol/checklist to registrants with common issues and symptoms.
Effectiveness of mitigation: reduced number of complaints alleging
lack of therapeutical effectiveness; feedback from supervisors;
organisation monitors use of protocol/checklist by registrants and
ascertains that 90% of registrants use the protocol; research
demonstrates issue/risk is managed appropriately; organisation
offers CPD on effectiveness and underlying issues undertaken by
70% of registrants.

Decreasing

4
L (2)
I (2)

X (organisation
holding register);
registrant;
supervisor

16
L(4)
I(4)

X; Y; Z

Static

8
L (4)
I (2)

Disclaimer: The purpose of this generic example is to give

applicants an idea of how to complete this matrix. It would
not necessarily be described as it is done here. The
existing controls and mitigation actions are some of the
possible controls and actions we would expect to see in
place but not all of them are listed here. For example, for
this specific risk safeguarding issues would have to be
considered and actions put in place. The inherent and
residual risk factor are not a real assessment - they were
included here to demonstrate how to calculate the factor.

1b

1c

1d

1e

2a

Example: Technical
Competence - Lack of
effectiveness

Registrants do not have the skills to practice so service

provided does not have expected effect/outcome. Registrants
cannot identify underlying issues and do not refer service user
to appropriate qualified professional.
Disclaimer: The purpose of this generic example is to give
applicants an idea of how to complete this matrix. It would
not necessarily be described as it is done here.

2b

2c

2d

3a

3b

3c

3d

Example: Business
Practice - Misleading
advertising by
registrants

A; B; C;